Compliance Officer – Research Compliance

New York, New York • $100,000 - $120,000

About the Company:

Our client is a multibillion dollar alternative asset manager headquartered in NYC

Responsibilities:

Work as a member of the Compliance Data and Research Management team to conduct due diligence reviews of potential data and independent research providers
Preparation of due diligence memoranda
Provide compliance support and monitoring of data centric trading teams
Provide compliance support and monitoring of Market Intelligence teams
Conduct diligence review of Automated Open Source projects
Review and maintain tracking mechanisms of approvals
Assist Compliance Data and Research Management in addressing legal and compliance issues
Monitor and stay current on applicable laws, regulatory initiatives and case law
Recommend and draft enhancements to policies and procedures.

Requirements:

Undergraduate degree from a top school with a minimum GPA of 3.2 required
Juris Doctorate degree from an accredited law school required
Minimum of 3 years of relevant Legal or Compliance experience, particularly focusing on the financial services industry

Compensation & Benefits

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